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SOURCE OF INFORMATION

SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 28-AUG-2025

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

UN-AUTHORISED SUB-BROKERS: ALLOWED BANKS TO DEBIT FOR THE PURPOSE OF MAKING REFUNDS TO CLIENTS/INVESTORS/COMPLAINANTS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person A TO Z CONSULTANTS PVT.LTD.

(PAN:AAACA4696F)  
  ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

ALLEGED INDULGENCE IN PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF KARISHMA FLORICULTURE LTD.   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)

09-OCT-2009 		 
2
History of entity/person A.K.INVESTMENT  
  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		THE OFFENCE WAS COMPOUNDED ON PAYMENT OF RS.1,20,000 BY THE ACCUSED TO SEBI  
3
History of entity/person A.M.INVESTMENT

(Sub-Broker of UNITY FIN-CAP PVT.LTD., Member : NSE)  
  DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER   DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003

07-JUL-2003 		 
4
History of entity/person A.M.INVESTMENT  
  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		ACQUITTED  
5
History of entity/person AA STOCK MOVERS  
  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
6
History of entity/person AAKAR INVESTMENT & FINANCIAL CONSULTANCY  
  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		DISMISSED  
7
History of entity/person AAYPEE FIN STOCK PVT.LTD.  
  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
8
History of entity/person AAYPEE FIN STOCK PVT.LTD.

(Sub-Broker of SHRI PARASRAM HOLDINGS PVT.LTD., Member : NSE)  
  DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER   DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003

07-JUL-2003 		 
9
History of entity/person ADIL TAMBOLI  
Click here to view complete history of this specific entity/person ADIL TAMBOLI,M/S
  		VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
10
History of entity/person ADIL TAMBOLI,M/S  
Click here to view complete history of this specific entity/person ADIL TAMBOLI
  		VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 12 OF SEBI ACT, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
11
History of entity/person AEE BEE STOCKS PVT.LTD.  
Click here to view complete history of this specific entity/person R.C.ARORA
  		VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
12
History of entity/person AEE BEE STOCKS PVT.LTD.

(Sub-Broker of KUMAR SHARE BROKERS LTD., Member : NSE)  
  DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER   DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003

07-JUL-2003 		 
13
History of entity/person AGARWAL INVESTMENTS

(Sub-Broker of BHAGWANDAS BHOGILAL & CO., Member : BSE)  
  DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER   DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003

07-JUL-2003 		 
14
History of entity/person AGARWAL SECURITIES  
  ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

ALLEGED INDULGENCE IN PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF KARISHMA FLORICULTURE LTD.   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)

27-OCT-2009 		 
15
History of entity/person AGBROS CAPITAL PVT.LTD.

(CIN:U67190MH1995PTC087585)  
  ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION

ALLEGED INDULGENCE IN PRICE MANIPULATION THROUGH IRREGULAR TRANSACTIONS IN SCRIP OF KARISHMA FLORICULTURE LTD.   		REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,50,000 VIDE CONSENT ORDER)

27-OCT-2009 		 
16
History of entity/person AGRAWAL INVESTMENTS  
  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		DISMISSED  
17
History of entity/person AJAMERU SECURITIES

(Sub-Broker of B.LODHA SECURITIES LTD., Member : BSE)  
  DEALT WITH BROKERS OF OTHER EXCHANGES WITHOUT SEBI REGISTRATION AS SUB-BROKER   DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 01-JUL-2003

07-JUL-2003 		 
18
History of entity/person AJAY AGGARWAL  
Click here to view complete history of this specific entity/person PRASNEETA CONSTRUCTIONS PVT.LTD.
  		AIDED AND ABETED ITS CLIENTS IN CREATION OF ARTIFICIAL MARKET AND PRICE MANIPULATION IN SCRIP OF SHAMKEN MULTIFAB LTD.

ACTED AS SUB-BROKER WITHOUT SEBI REGISTRATION   		DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 09-DEC-2014 TO 08-DEC-2015

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 09-DEC-2014 TO 08-DEC-2015

09-DEC-2014 		 
19
History of entity/person AJAY JAIN  
Click here to view complete history of this specific entity/person UNIQUE SECURITIES
  		INDULGED IN PRICE MANIPULATION THROUGH STRUCTURED TRANSACTIONS IN SCRIPS OF KINETIC CAPITAL SERVICES LTD. AND SHUBH INTERNATIONAL LTD.   DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-APR-2015 TO 12-APR-2018

DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-APR-2015 TO 12-APR-2018

13-APR-2015 		 
20
History of entity/person AJAYMERU SECURITIES  
  VIOLATED RULE 3 OF SEBI (STOCK BROKERS & SUB BROKERS) REGULATIONS, 1992

VIOLATED SECTION 23 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956   		PROSECUTION LAUNCHED

15-MAY-2006 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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